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How To Survive Your First SEC Audit: Preparing For The SEC Examination And Complying With The Information Request Letter

Nerd's Eye View

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

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The SEC Playbook For Newly-Registered Advisers: Preparing For The SEC Examination And Complying With The Information Request Letter

Nerd's Eye View

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

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How Financial Advisors Can Scale Business Without Burnout

Indigo Marketing Agency

But by advertising smarter, you end up working less and succeeding more. Consider a financial advisor with 100 existing clients averaging $1M in assets each. Engaging with clients transparently and ethically further enhances your brand’s reputation. You want to grow your business…but just sustaining it is a full-time job.

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Global Leaders Investment Letter: August 2022

Brown Advisory

As economies decouple and deglobalise, prior “just-in-time” firms will move to “just-in-case” inventory, so it won’t be surprising to see RoICs come down without an offset in either asset turns or profit margins as they carry more robust inventory levels. However, looking at the long-term returns of TSMC tells a different story.

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2019 Berkshire Hathaway Annual Shareholder Meeting

Brown Advisory

Buffett praised Abel and Jain for their accomplishments and their knowledge of the businesses and work ethic, and invited questions for them as well. He doesn’t mind not having caught Amazon, but he feels silly for not identifying Alphabet early when he could see what GEICO was spending on advertising at Google.

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2019 Berkshire Hathaway Annual Shareholder Meeting

Brown Advisory

Buffett praised Abel and Jain for their accomplishments and their knowledge of the businesses and work ethic, and invited questions for them as well. He doesn’t mind not having caught Amazon, but he feels silly for not identifying Alphabet early when he could see what GEICO was spending on advertising at Google.

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10 Monday AM Reads

The Big Picture

The firm plans to hit $10 trillion in client assets over the next decade. Fringe’ research suggests the insects that are essential to agriculture have emotions, dreams and even PTSD, raising complex ethical questions. ( The Guardian ) • If It’s Advertised to You Online, You Probably Shouldn’t Buy It. Here’s Why.

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